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Richard H. Angelotti

Some features on this profile are disabled
CRD#: 2352882
RA

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Henry Angelotti, who also goes by Dick Angelotti, Richard H Angelotti, was a registered financial advisor .

Richard is a previously registered financial advisor and started their career in finance in 1993. Richard had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dick Angelotti | Richard H Angelotti

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 19, 2005 - August 12, 2008

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
SARASOTA, FL
Past

October 29, 2004 - December 31, 2008

ANGELOTTI/ROSENBERG ASSET MANAGEMENT

RIA
CRD#: 133000
SARASOTA, FL
Past

April 19, 2004 - September 26, 2005

STONEX SECURITIES INC.

BD
CRD#: 18456
BIRMINGHAM, AL
Past

December 19, 2003 - September 22, 2004

GLOBAL FINANCIAL ASSET MANAGEMENT, LLC

RIA
CRD#: 127629
SARASOTA, FL
Past

September 25, 2003 - March 19, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

September 9, 2003 - March 19, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
SARASOTA, FL
Past

March 24, 1999 - August 29, 2003

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
SARASOTA, FL
Past

March 11, 1999 - August 29, 2003

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

May 18, 1993 - March 10, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/20/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/19/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1993
General Securities Representative Examination

Current Firm

EF
EMPIRE FINANCIAL GROUP, INC.
EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759 / SEC#: , 8-43949

BD
Terminated by SEC on 05/23/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 09/01/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JESUP AND LAMONT, INCHOLDING COMPANY
UCHENIK, VLADFINOP, COO, CFO4071805

Disclosures

Regulatory Event10
Arbitration7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

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